RIGEL PHARMACEUTICALS INC 10-Q

Item 5. Other Information ​ None. ​ 93 ​ Table of Contents ​ ​ Item 6. Exhibits ​ The exhibits listed on the accompanying index to exhibits are filed or incorporated by reference (as stated therein) as part of this Quarterly Report on Form 10-Q. ​ ​ Exhibit Number ​ Description of Document ​ ​ ​ 3.1 ​ Amended and Restated Certificate of Incorporation. (1) ​ ​ ​ 3.2 ​ Amended and Restated Bylaws. (2) 3.3 ​ Certificate of Amendment to the Amended and Restated Certificate of Incorporation. (3) ​ ​ ​ 4.1 ​ Form of warrant to purchase shares of common stock. (4) ​ ​ ​ 4.2 ​ Specimen Common Stock Certificate. (5) ​ ​ ​ 4.3 ​ Warrant issued to HCP BTC, LLC for the purchase of shares of common stock. (6) 31.1# ​ Certification required by Rule 13a-14(a) or Rule 15d-14(a) of the Exchange Act. ​ ​ ​ 31.2# ​ Certification required by Rule 13a-14(a) or Rule 15d-14(a) of the Exchange Act. ​ ​ ​ 32.1*# ​ Certification required by Rule 13a-14(b) or Rule 15d-14(b) of the Exchange Act and Section 1350 of Chapter 63 of Title 18 of the United States Code (18 U.S.C. 1350). ​ ​ ​ 101.INS ​ Inline XBRL Instance Document – the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document. ​ ​ ​ 101.SCH ​ Inline XBRL Taxonomy Extension Schema Document. ​ ​ ​ 101.CAL ​ Inline XBRL Taxonomy Extension Calculation Linkbase Document. ​ ​ ​ 101.LAB ​ Inline XBRL Taxonomy Extension Labels Linkbase Document. ​ ​ ​ 101.PRE ​ Inline XBRL Taxonomy Extension Presentation Linkbase Document. ​ ​ ​ 101.DEF ​ Inline XBRL Taxonomy Extension Definition Linkbase Document. ​ ​ ​ 104 ​ Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101) # Filed herewith * The certifications attached as Exhibit 32.1 accompany this Quarterly Report on Form 10-Q pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, and shall not be deemed “filed” by the registrant for purposes of Section 18 of the Exchange Act. (1) Filed as an exhibit to Rigel’s Current Report on Form 8-K dated June 24, 2003, and incorporated herein by reference. (2) Filed as an exhibit to Rigel’s Current Report on Form 8-K dated November 3, 2022, and incorporated herein by reference. (3) Filed as an exhibit to Rigel’s Current Report on Form 8-K dated May 18, 2018, and incorporated herein by reference. (4) Filed as an exhibit to Rigel’s Registration Statement on Form S-1 (No. 333-45864), filed on September 15, 2000, as amended, and incorporated herein by reference. (5) Filed as an exhibit to Rigel’s Current Report on Form 10-K dated June 24, 2003, and incorporated herein by reference. (6) Filed as an exhibit to Rigel’s Quarterly Report on Form 10-Q for the quarter ended March 31, 2009, and incorporated herein by reference. ​ 94 ​ Table of Contents SIGNATURES ​ Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized. ​ ​ ​ ​ ​ ​ ​ RIGEL PHARMACEUTICALS, INC. ​ ​ ​ ​ ​ ​ By: /s/ RAUL R. RODRIGUEZ ​ ​ ​ Raul R. Rodriguez ​ ​ ​ Chief Executive Officer (Principal Executive Officer) ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ Date: May 2, 2023 ​ ​ ​ ​ ​ ​ By: /s/ DEAN L. SCHORNO ​ ​ ​ Dean L. Schorno ​ ​ ​ Chief Financial Officer (Principal Financial Officer) ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ Date: May 2, 2023 ​ ​ ​ 95 ​